Katelynn's Report

Katelynn's Report

(US Market)


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Form 3

What is it: Director, officer or beneficial (10%) owner must file Form 3 after becoming affiliated with a company. Form 3 is typically filed together with registration statement (E.g. Form S-1) for an initial public offering (IPO). If a person does not own any securities, the person must also file Form 3 and state that no securities are owned. If a person also own securities from other companies, a separate form shall be filed to reflect corresponding beneficial ownership. Future filings of changes in ownership are filed under Form 4 or Form 5.

Filing Time: Within 10 days after a person becoming affiliated with a company.

Related Form(s):

Form 4
Form 5

Tips: About 31,000~38,000 Form 3 and ~1500 Form 3/A (amendment to previously filed Form 3) are filed each year(2008~2014 statistics).